SEC Form 4 · accession 0001011034-16-000109
Golden Minerals Co · AUMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Jan 19, 2016
Accepted (ET)
Jan 20, 2016 · 5:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001011509
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 10,283,944 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF2,F1 | $5.60 | Sep 19, 2012 | J | 682,897 | A | Mar 20, 2013 | Sep 19, 2017 | Common Stock | 682,897 | 682,897 | D |
| WarrantsF3,F2,F1 | $5.60 | Sep 10, 2014 | J | 119,352 | A | Sep 10, 2014 | Sep 19, 2017 | Common Stock | 119,352 | 119,352 | D |
| WarrantsF2,F1 | $1.00 | Sep 10, 2014 | J | 2,900,000 | A | Mar 11, 2015 | Sep 10, 2019 | Common Stock | 2,900,000 | 2,900,000 | D |
| WarrantsF3,F2,F1 | $5.60 | Jan 19, 2016 | J | 225,441 | A | Jan 19, 2016 | Sep 19, 2017 | Common Stock | 225,441 | 225,441 | D |
| Convertible NoteF4 | $0.29 | Jan 19, 2016 | P | 17,241,379 | A | Jan 19, 2016 | Oct 27, 2016 | Common Stock | 17,241,379 | 17,241,379 | D |
Explanation of responses
- F1Represents re-pricing of Warrants due to anti-dilution adjustment.
- F2N/A
- F3Represents additional Warrants issued pursuant to anti-dilution adjustment.
- F4Assumes conversion price of $0.29 per share. Conversion price subject to downward adjustment if 15 day VWAP prior to conversion date is lower. Does not include conversion of accrued and unpaid interest at the applicable conversion price.